Documents

Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools Operated: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments

Federal Register · Rule · Sep 26, 2024

Introduction and Background As amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), 1 section 1a(11) of the Commodity Exchange Act (CEA or Act) defines the … One commenter also submitted a supplemental comment letter after the closing of the NPRM's public comment period.

Agency Information Collection Activities: Revised Collection, Comment Request: Amendments To Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps, Final Rule

Federal Register · Notice · Jul 21, 2016

In commenting on the IDWG Request for Comment, one foreign central counterparty now acting pursuant to a DCO Exemptive Order cited a specific cost for connecting to a new SDR as involving at least 150 … Swap Reporting Release) as well as other periodic changes.

Financial Reports of Futures Commission Merchants, Introducing Brokers and Leverage Transaction Merchants

Federal Register · Rule · Mar 7, 1997

period on the Proposals expired on November 25, 1996. … Paperwork Reduction Act The Paperwork Reduction Act of 1995 (PRA), Pub.

Real-Time Public Reporting Requirements and Swap Data Recordkeeping and Reporting Requirements

Federal Register · Proposed Rule · Dec 28, 2023

The RFA applies to rules subject to notice and comment rulemakings issued pursuant to section 553(b) of the Administrative Procedure Act, 5 U.S.C. 553(b), or any other law. … of exercise periods. 115 Option exercise frequency period multiplier The number of time units for the exercise frequency period.  

A New Regulatory Framework for Clearing Organizations

Federal Register · Proposed Rule · Jun 22, 2000

DATE: Comments must be received by August 7, 2000. … ; and (5) The applicant has not instructed the Commission in writing during the review period to review the application pursuant to procedures under section 6 of the Act

Amendments Pertinent to Registered Entities and Exempt Commercial Markets

Federal Register · Proposed Rule · Aug 13, 2007

DATES: Comments must be received by September 12, 2007. … in section 1a(4) of the Act by proposing to commence the rule approval period at the conclusion of the 10-day materiality review period under regulation 40.4(b)(9).

Agency Information Collection Activities; Proposed Collection, Comment Request

Federal Register · Notice · Apr 5, 2012

and Consumer Protection Act (“Dodd-Frank Act”). … The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on February 15, 2012 (77 FR 8817).

Operation, in the Ordinary Course, of a Commodity Broker in Bankruptcy

Federal Register · Rule · Jul 30, 2010

The public comment period on the Notice ended on January 15, 2010. … The Commission received two comments  2 during the comment period: (i) One from the trustee of a futures commission merchant (“FCM”) that was sold as a going concern in bankruptcy 3 and (ii)

Designated Contract Markets in Security Futures Products: Notice-Designation Requirements, Continuing Obligations, Applications for Exemptive Orders, and Exempt Provisions

Federal Register · Proposed Rule · May 31, 2001

ACTION: Proposed rulemaking and request for comment. … DATES: Comments must be received by July 2, 2001. ADDRESSES: Comments on the proposed rulemaking may be sent to Jean A.

Chicago Board of Trade Proposed Futures and Option Contracts on the Dow Jones Industrial Average Index

Federal Register · Notice · Jun 27, 1997

SUPPLEMENTARY INFORMATION: In its application, the CBOT requested an abbreviated 15-day public comment period. … The Division believes that, for the reasons presented by the CBOT, a 15-day comment period is appropriate for these CBOT applications.

Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps

Federal Register · Rule · Oct 14, 2016

The public comment period closed on July 25, 2016, and five letters were submitted by that date. … Act.

Orders Finding that the (1) Phys,1 BS,2 LD1 3 (US/MM), AB-NIT;4 (2) Phys, BS, LD1 (US/MM), Union-Dawn; 5 (3) Phys, FP,6 (CA/GJ),7 AB-NIT; (4) Phys, FP, (US/MM), Union-Dawn; and (5) Phys, ID,8 7a 9 (CA/GJ), AB-NIT Contracts, Offered for Trading on the Natural Gas Exchange, Inc., Do Not Perform a Significant Price Discovery Function

Federal Register · Notice · May 4, 2010

Upon the close of the comment period, the Commission will consider, among other things, all relevant information regarding the subject contract and issue an order announcing and explaining its determination … Each delivery period is considered to be a separate contract, and market participants value each delivery period separately.

Agency Information Collection Activities: Notice of Intent To Renew Collection 3038-0009, Large Trader Reports

Federal Register · Notice · May 4, 2015

Comments on the Paperwork Reduction Act implications of the Position Limits for Derivatives proposal were solicited through the proposal itself, the comment period for which (as extended and reopened) … under the Administrative Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act

Federal Register · Proposed Rule · Mar 29, 2007

and related materials, and viewing the docket after the close of the comment period … , and viewing the docket after the close of the comment period

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Mar 27, 2023

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. 1  17 CFR 145.9. … Frequency of Collection: Periodically. There are no capital costs or operating and maintenance costs associated with this collection.

Agency Information Collection Activities Under OMB Review

Federal Register · Notice · Aug 27, 2024

and Budget (“OMB”) for review and comment. … Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act.

Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants

Federal Register · Rule · May 23, 2024

Regulatory Flexibility Act B. Paperwork Reduction Act 1. Background 2. … The comment period for the Proposal ended on February 13, 2024. 21 The Commission received four substantive comment letters. 22 In general, all of these letters expressed general support for

Position Limits for Derivatives

Federal Register · Proposed Rule · Dec 30, 2016

of 2010 (“Dodd-Frank Act”) amendments to the Commodity Exchange Act (“CEA” or “Act”). … Congress, too, has periodically revised the Federal statutes applicable to bona fide hedging, most recently in the Dodd-Frank Act.

Order Finding That the ICE Waha Financial Basis Contract Traded on the IntercontinentalExchange, Inc., Performs a Significant Price Discovery Function

Federal Register · Notice · May 5, 2010

Upon the close of the comment period, the Commission will consider, among other things, all relevant information regarding the subject contract and issue an order announcing and explaining its determination … Federal Register Comments As noted above, comments were received from seven individuals and organizations, with five comments being directly applicable to the SPDC determination of the ICE WAH contract

Rules Relating to Reparation Proceedings

Federal Register · Uncategorized Document · Mar 1, 1994

In providing such a lengthy period, the Commission had expected parties to pursue early settlement discussions. … Comments received. Only two parties commented on this issue.